Experience

• 

  The Ardonagh Group

  • Compliance Oversight Manager

    • Jul 2022 - Present

    Compliance oversight manager for the Ethos Broking

• 

  The Automobile Association

  • Basingstoke

  • Compliance Conduct Controls Manager

    • Dec 2013 - Jun 2023
    • Basingstoke

    The AA is a business that encompasses regulated and non-regulated activities with the potential for crossover and contagion risks. In additions AAISL undertake a number of Outsourcing and TPP relationshipsRole - Responsible for a team of 2 dispersed over 3 sites. The team are responsible for managing the operational risk of the Compliance Department with the establishment and maintenance of processes to ensure that the department’s primary objective, providing an effective second line of defence has been met. Responsibilities include •Provide leadership at management level for the Compliance function in order to maintain plans, policies, processes and procedures which control and mitigate compliance regulatory risk •Guide the firm and its senior management to ensure that it acts within the framework of the FCA principals of business, the FCA threshold conditions and view of Conduct Risk•The creation and maintenance of a compliance resolution framework in order to demonstrate and provide assurance the control of crystallised issues and any associated remedial activity•The ongoing monitoring and reporting on progress on incidents and issues, including tracking any remedial activity through to resolution •Oversight and completion of the Compliance Risk Register, which includes conduct risk guidance and resolutions •Mediation activities on ‘Own Brand’ along with Outsourcing and TPP specialist •Second line ‘live’ call monitoring and reporting of any identified issues with subsequent actions and resolutions•Provide support and undertake the independent challenge to various first line control functions •To work closely with both the Compliance Conduct Policy and Monitoring teams•Completion and submission of new appointed Approved Person Applications •Compilation and submission of regular and ad-hoc regulatory returns•Use of FCA ‘Connect’ and ‘Gabriel’ in order to compile, create and submit various regulatory returns and applications

• 

  Capita

  • Portsmouth

  • Compliance manager

    • Sep 2005 - Dec 2013
    • Portsmouth

    Capita Insurance Services provided a fully branded, end to end ‘white label’ solution for personal lines insurance for various high street brands and acted as ‘Third Party Processors’ to provide a full back office functions for other directly authorised firms. Role –responsibilities included • Promote and undertake the effective co-ordination and oversight of the compliance plan• Provide guidance with appropriate challenge to the compliance monitoring team• Created a compliance tracker framework in order to provide assurance to the Head of Compliance and the firms senior management on the activity of the firm on issues that stemmed from the monitoring teams reviews• Working with the operational team, offer guidance and pragmatic solutions that would mitigate the risks that stem from issues identified • Create compliance reports and MI on behalf of the Head of Compliance and used to inform the governance fora • Provide regulatory guidance and support to the senior management in respect of any changes to the regulatory landscape and horizon scanning for potential risks • To consider the impact of regulatory development and support the implementation and implement where required, any regulatory developments into the firms policies and procedures• Issues and breaches identification and provide guidance and solutions to mitigate any risk to customers

• 

  Swinton Insurance

  • Portsmouth, United Kingdom

  • Branch Manager

    • Jul 1999 - Jul 2005
    • Portsmouth, United Kingdom

    Following the acquisition of Charminster Insurance by Colonnade Insurance, I relocated offices and successfully managed the migration of the branch business from a manual system to a fully computerised system. Other successes: • I was promoted to senior manager. • Duties now included writing, training and coaching new staff across the country and involved extensive travel• In addition to running my own successful branch I was also responsible and managed 4/5 branches with circa 25 staff• Successfully implemented training and coaching sessions for staff and implemented process and procedures to improve retention and conversion rates. These were eventually adopted by the region• Additional responsibility included regional complaints hander, Mentor and coach for branch managers and add-hoc projects for the regional manager